Accredited investors are a special classification of sophisticated investors for whom the SEC deems the protections offered under the United States Securities Act.
An accredited investor is a person or entity that is permitted to invest in these kinds of unregulated securities. Generally, this relates to a net worth/income threshold or the fact that they are financial professionals with the wherewithal to understand all of the risks involved.
Accredited investors may invest in private securities such as:
- Direct company investments (i.e. "angel" investments)
- Venture Capital funds
- Real estate investment funds
- Private equity funds
- Hedge funds
- Specialty investment funds, (i.e. those focused on cryptocurrencies)
The SEC delineates three different sub-classifications of Accredited Investor:
- Accredited Investor
- Qualified Client
- Qualified Purchaser
This summary overview references this article's details on investor accreditation status.
Accredited Investor
Accredited investors (same name as the overall special classification) are a relevant sub-classification for the ability to invest in certain types of assets (namely, private market securities).
They have the lowest financial thresholds (measured in terms of net worth and income) compared to the financial thresholds of a qualified client or qualified purchaser needs to achieve (measured in terms of investments).
Most Common Eligibility Criteria for Accredited Investors:
- For individuals: An accredited investor is a natural person who has either: (1) earned more than $200,000 as income (or $300,000 together with a spouse) in each of the prior two years and reasonably expects the same for the current year or (2) a net worth of over $1 million - this could be alone or together with a spouse (but excluding the value of the person’s primary residence). Although there are other exemptions based on financial sophistication, these monetary thresholds are the most common benchmark to determine accreditation status.
- For entities: there are several ways for an entity to be deemed an accredited investor. The two most common are maintaining total assets in excess of $5 million or being owned exclusively by accredited investors. Similar to qualified purchasers, the entity may not have been formed for the exclusive purpose of investing in a fund.
- Licensed professionals: allow persons to qualify on the basis of certain professional certifications or designations — including holding certain Financial Industry Regulatory Authority licenses (Series 7, Series 65, or Series 82 licenses)
- Fund Employees: allows a natural person who is a “knowledgeable employee” of a fund to be deemed an accredited investor, when it involves investments in a private investment fund such as a private equity fund, venture capital fund, or hedge fund.
SEC guidelines do change frequently, please see their website for the latest eligibility criteria.
Qualified Client
A qualified client is an individual with more than $2.2 million in net worth (either individually or jointly with a spouse) or who maintains at least $1 million under management with an investment adviser.
Since the net worth threshold for a qualified client is higher than for an accredited investor, all qualified clients are, by definition, also accredited investors.
SEC guidelines do change frequently, please see their website for the latest eligibility criteria.
Qualified Purchaser
A qualified purchaser is an individual or a family-owned business that owns $5 million or more in investments. The term “investments” shouldn’t include a primary residence or any property used for business.
Since the net worth threshold for a qualified purchaser is higher than for an accredited investor, all qualified purchasers are, by definition, also accredited investors.
Notice the benchmark for a qualified purchaser is investments rather than net assets, which is a standard you may be used to seeing for investor accreditation.
The term “investments” is fairly broad here and includes stocks, bonds, futures contracts, cash and cash equivalents, commodity futures contract, real estate, financial contracts, and other alternative assets held for investment purposes.
Other qualified purchaser categories include:
- an individual or entity (for example, a fund manager) that invests at least $25 million in private capital, on its own account or on behalf of other qualified purchasers;
- a trust sponsored and managed by qualified purchasers; or
- an entity owned entirely by qualified purchasers.
Note - To meet the qualified purchaser criteria, the relevant entity or family-owned business cannot be formed solely to invest in a specific fund.
SEC guidelines do change frequently, please see their website for the latest eligibility criteria.